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penalty

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Trader and a trading company ordered to pay $2.5 Million Penalty

21/12/2016(0)
Federal Court Orders Chicago Trader Igor B. Oystacher and 3Red Trading LLC to Pay $2.5 Million Penalty for Spoofing and Employment of a Manipulative and Deceptive Device, while Trading ... Read More
ASIC_regulator

Court fines Sino Australia Oil and Gas Limited and disqualifies former chairman, Tianpeng Shao

09/12/2016(0)
The Federal Court of Australia has ordered that Sino Australia Oil and Gas Limited (in liquidation) (Sino) pay a pecuniary penalty of $800,000 and its former chairman, Mr Tianpeng ... Read More
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CFTC Orders Paris-Based Société Générale SA to Pay a $450,000 Penalty

08/12/2016(0)
The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Société Générale SA (Société Générale) for failing to properly report certain non-deliverable ... Read More
Monetary-Authority-of-Singapore

Singapore imposed millions penalty to foreign banks branches

05/12/2016(0)
The Monetary Authority of Singapore (MAS) announced today that it has imposed financial penalties of S$5.2 million and S$2.4 million respectively on Standard Chartered Bank, Singapore Branch (SCB) and ... Read More
legal

Insurance commissioner’s enforcement action against Zenefits results in multi-million dollar penalty

29/11/2016(0)
Insurance Commissioner Dave Jones today announced the enforcement action taken against Zenefits for multiple license violations has resulted in a $7 million penalty. Zenefits was charged with allowing unlicensed ... Read More
Securities Exchange Commission

Oil Services Company Paying $140 Million Penalty for Accounting Fraud

28/09/2016(0)
The Securities and Exchange Commission today announced that oil services company Weatherford International has agreed to pay a $140 million penalty to settle charges that it inflated earnings by ... Read More
ASIC_regulator

Morgan Stanley pays $123,750 in infringement notice penalty

07/09/2016(0)
Morgan Stanley Australia Securities Limited (“Morgan Stanley”) has paid a penalty of $123,750 to comply with an infringement notice given to it by the Markets Disciplinary Panel (“MDP”). The MDP ... Read More
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CFTC Orders Barclays Bank PLC to Pay a $560,000 Penalty

07/07/2016(0)
The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Barclays Bank PLC (Barclays) for failing to submit accurate large trader reports (LTRs) for ... Read More
bank-of-america-merrill-lynch

Merrill Lynch Paying $10 Million Penalty for Misleading Investors

24/06/2016(0)
The Securities and Exchange Commission today announced that Merrill Lynch has agreed to pay a $10 million penalty to settle charges that it was responsible for misleading statements in ... Read More
cftc

$175 Million Penalty for Citibank

26/05/2016(0)
CFTC Orders Citibank, N.A. and Japanese Affiliates to Pay $175 Million Penalty for Attempted Manipulation of Yen LIBOR and Euroyen TIBOR, and False Reporting of Euroyen TIBOR and U.S. ... Read More
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